Albert T. Ayala
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Albert Thomas Ayala was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1970. Albert had worked at 15 firms and has passed the Series 55, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2000 - July 30, 2001
DEUTSCHE IXE, LLC
October 23, 1998 - January 1, 2001
APEX CLEARING CORPORATION
June 30, 1998 - October 14, 1998
COWEN SECURITIES LLC
March 17, 1997 - April 20, 1998
DONALD & CO. SECURITIES INC.
January 2, 1991 - February 27, 1997
DICKINSON & CO.
September 25, 1989 - December 31, 1990
SWARTWOOD, HESSE INC.
March 30, 1989 - April 25, 1990
ALLEGIANCE SECURITIES, INC.
September 28, 1987 - March 1, 1989
GREELEY SECURITIES, INC.
September 9, 1983 - March 20, 1987
SWERGOLD, CHEFITZ & INCORPORATED
March 18, 1982 - September 15, 1983
GINTEL & CO., LLC
February 16, 1982 - October 25, 1983
OPPENHEIMER & CO. INC.
June 13, 1979 - September 14, 1981
JOHN MUIR & CO.
March 2, 1978 - May 10, 1979
TROSTER SINGER CORPORATION
August 28, 1975 - November 11, 1977
M. S. WIEN & CO., INC.
May 23, 1974 - September 25, 1975
DEUTSCHE IXE, LLC
March 13, 1970 - July 16, 1974
A P MONTGOMERY & CO INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 7/20/1998
Limited Representative-Equity Trader ExamSeries 1
Date: 1/10/1968
Registered Representative ExaminationCurrent Firm
DEUTSCHE IXE, LLC
CRD#: 7172 / SEC#: , 8-13967
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IXE SECURITIES, INC. | MEMBER | |
| NDB CAPITAL MARKETS CORPORATION | MEMBER | |
| DE SAN, PATRICK | CHIEF COMPLIANCE OFFICER | 2371051 |
| DE SAN, PATRICK | CHIEF FINANCIAL OFFICER/FINOP | 2371051 |
| DERHALLI, KERIM RICHARD | MANAGER | 2187407 |
| HOPE, RUPERT DICKIE | MANAGER | 2598323 |
| HORCASITAS, JAVIER MOLINAR | MANAGER | 4678281 |
| NARANJO, MAURICIO | MANAGER | 5070130 |
| PONS, JOSE IGNACIO DE ABIEGA | MANAGER | 4678290 |
| SANCHEZ-MEJORADA, ENRIQUE CASTILLO | MANAGER | 4678285 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
